DFX Intelligence
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Registered advisor
D••••• C• R••••
Feed of 09/14/2026
Also filed as D••••• R••••••••• C••••••• R••••••••• C••••••• C•••• R••••••••• C•••• R••••
At current firm
11 y
since Jul 14, 2015
In the industry
18 y
since Mar 14, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jul 14, 2015 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 25, 2015 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 18, 2008 to Jun 1, 2009 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to P••• A••••• S••••••••• L••left Jun 25, 2015, registered Jul 14, 2015 (19 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address